FINRA Financial Operations Examiner - Member Regulation, ROOR - New York, NY in New York, New York

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The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for ourFinancial Operations Examiner opening in New York, NY.To be considered for this position, please submit your resume through our career site at no phone calls, please.

Job Summary:

TheFinancial Operations Examiner should have an intermediate level of competence in identifying risks, developing regulatory strategies to address those risks, and working with teams to execute these strategies. This is a professional position sharing knowledge, developing and refining skills, and working under moderate supervision and guidance.

Position may be filled at various levels depending on experience and job skills of a successful candidate.

Essential Job Functions:

  • Participate in the examinations of assigned member firms; assist in identifying key risks and developing strategies to review such risks; conduct move-the-line and risk reviews, and prepare examination reports while working under moderate supervision.
  • Identify notable trends in industry practices, products and procedures with the guidance of senior team members.
  • Assist team members in analyzing member firms financial and operational books and records to identify areas of risk.
  • Actively participate in meetings with firms during examinations under moderate supervision and guidance.
  • Work to ensure regulatory programs serve departmental goals and FINRAs mission in an efficient and effective manner.

Other Responsibilities:

  • Exemplify the FINRA Leadership Characteristics and serve as a role model for staff in the department.
  • Participate on committees and special projects.

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